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</o:shapelayout></xml><![endif]--></head><body lang=EN-AU link=blue vlink=purple><div class=WordSection1><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Hello all,<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>First, I want to say that the information about compliance resourcing and budget levels that we received was very welcome. While it was troubling that this took so much effort, and that it seemed to indicate some misunderstanding about compliance staffing levels by ICANN senior staff, the provision of this information appears to be a small step in the right direction. I also note that ICANN’s website now contains far more information on its compliance function than it did when we began our work, which is also welcome.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Beyond the question of resourcing levels, there are separate questions about how these resources are managed and structured. This is important because i</span><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>f ICANN can get the structure, lines of reporting, and staff incentives right, then I would expect that the rest of its compliance efforts would flow much more easily</span><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>. In terms of specifics, I understand that the compliance team sits somewhere in ICANN’s legal area, and hence reports in some capacity to the General Counsel. However, it is not clear to me how this works in practice, and what this means for lines of reporting, accountabilities, and staff incentives. For example:<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoListParagraph style='text-indent:-18.0pt;mso-list:l0 level1 lfo1'><![if !supportLists]><span style='font-size:11.0pt;font-family:Symbol;color:#1F497D'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Does the ‘Head of the Contractual Compliance Team’ make final decisions about compliance actions in all instances, or do these need to be cleared with, or vetted by, someone else (e.g. the General Counsel)? <o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-18.0pt;mso-list:l0 level1 lfo1'><![if !supportLists]><span style='font-size:11.0pt;font-family:Symbol;color:#1F497D'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>If so, is there a threshold and/or criteria for taking responsibility for a compliance decision outside of the compliance team? <o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-18.0pt;mso-list:l0 level1 lfo1'><![if !supportLists]><span style='font-size:11.0pt;font-family:Symbol;color:#1F497D'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Are these processes and reporting lines clear and documented?<o:p></o:p></span></p><p class=MsoListParagraph style='text-indent:-18.0pt;mso-list:l0 level1 lfo1'><![if !supportLists]><span style='font-size:11.0pt;font-family:Symbol;color:#1F497D'><span style='mso-list:Ignore'>·<span style='font:7.0pt "Times New Roman"'> </span></span></span><![endif]><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>What are the responsibilities and incentives of the ultimate decision makers (particularly if they are outside of the compliance team) – e.g. are their incentives and responsibilities clear and/or exclusively compliance focused? If not, why not? How are any conflicts of incentives/interests resolved?<o:p></o:p></span></p><p class=MsoListParagraph><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Given the importance of an effective compliance effort to many of our recommendations, </span><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>I would be interested to explore these questions on the call (noting that John Jeffrey is scheduled to attend).</span><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p></o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>I hope this helps.<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Cheers,<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'>Peter<o:p></o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><p class=MsoNormal><span style='font-size:11.0pt;font-family:"Calibri","sans-serif";color:#1F497D'><o:p> </o:p></span></p><div style='border:none;border-top:solid #B5C4DF 1.0pt;padding:3.0pt 0cm 0cm 0cm'><p class=MsoNormal><b><span lang=EN-US style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'>From:</span></b><span lang=EN-US style='font-size:10.0pt;font-family:"Tahoma","sans-serif"'> rt4-whois-bounces@icann.org [mailto:rt4-whois-bounces@icann.org] <b>On Behalf Of </b>Emily Taylor<br><b>Sent:</b> Thursday, 26 April 2012 7:23 PM<br><b>To:</b> Alice Jansen<br><b>Cc:</b> rt4-whois@icann.org<br><b>Subject:</b> Re: [Rt4-whois] CIRCULATE DISCUSSION POINTS - Call with ICANN Staff<o:p></o:p></span></p></div><p class=MsoNormal><o:p> </o:p></p><div><p class=MsoNormal>Dear all<o:p></o:p></p></div><div><p class=MsoNormal><o:p> </o:p></p></div><div><p class=MsoNormal>Just to support this prompt from Alice - please can you all let us have your agenda items for anything further you want to pick up with staff in this call. <o:p></o:p></p></div><div><p class=MsoNormal><o:p> </o:p></p></div><div><p class=MsoNormal>Kind regards<o:p></o:p></p></div><div><p class=MsoNormal style='margin-bottom:12.0pt'><br>Emily<o:p></o:p></p><div><p class=MsoNormal>On 26 April 2012 09:47, Alice Jansen <<a href="mailto:alice.jansen@icann.org" target="_blank">alice.jansen@icann.org</a>> wrote:<o:p></o:p></p><div><div><div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif"'>Dear Review Team Members,<o:p></o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif"'><o:p> </o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif"'>In line with decisions reached during your call yesterday, <u>your session with ICANN Staff is scheduled for Monday, 30 April at 22:00 UTC (</u><a href="http://timeanddate.com/worldclock/fixedtime.html?msg=WHOIS+Policy+RT%3E%3CICANN+STAFF&iso=20120430T22&ah=2" target="_blank">http://timeanddate.com/worldclock/fixedtime.html?msg=WHOIS+Policy+RT%3E%3CICANN+STAFF&iso=20120430T22&ah=2</a>). An outlook invitation will follow shortly.<o:p></o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif"'><o:p> </o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif"'>Also note that per your decision, the call with ICANN Staff will take place only if the Team has a list of specific discussion points. <o:p></o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif"'><o:p> </o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif"'>Please kindly<b> circulate the topics you would like to discuss by Friday, 27 April – 17:00 UTC</b> (<a href="http://timeanddate.com/worldclock/fixedtime.html?msg=Circulate+your+discussion+points&iso=20120427T17" target="_blank">http://timeanddate.com/worldclock/fixedtime.html?msg=Circulate+your+discussion+points&iso=20120427T17</a>)<o:p></o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif"'><o:p> </o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif"'>Thanks,<o:p></o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif"'><o:p> </o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif"'>Kind regards<o:p></o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'><o:p> </o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'>Alice <o:p></o:p></span></p></div><div><div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'>-- <o:p></o:p></span></p></div><div><div><div><div><p class=MsoNormal><b><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'>Alice Jansen</span></b><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'><o:p></o:p></span></p></div></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'>Organizational Reviews Manager<o:p></o:p></span></p></div><div><p class=MsoNormal><i><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'>6 Rond Point Schuman, Bt.5</span></i><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'><o:p></o:p></span></p></div><div><p class=MsoNormal><i><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'>B-1040 Brussels</span></i><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'><o:p></o:p></span></p></div><div><p class=MsoNormal><i><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'>Belgium</span></i><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'><o:p></o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'>Direct dial: <a href="tel:%2B32%202%20234%2078%2064" target="_blank">+32 2 234 78 64</a><o:p></o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'>Mobile: <a href="tel:%2B32%204%2073%2031%2076%2056" target="_blank">+32 4 73 31 76 56</a><o:p></o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'>Skype: alice_jansen<i>_</i>icann<o:p></o:p></span></p></div></div></div></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'><o:p> </o:p></span></p></div><div><p class=MsoNormal><span style='font-size:7.0pt;font-family:"Calibri","sans-serif";color:#888888'><o:p> </o:p></span></p></div></div></div></div></div><p class=MsoNormal style='margin-bottom:12.0pt'><br>_______________________________________________<br>Rt4-whois mailing list<br><a href="mailto:Rt4-whois@icann.org">Rt4-whois@icann.org</a><br><a href="https://mm.icann.org/mailman/listinfo/rt4-whois" target="_blank">https://mm.icann.org/mailman/listinfo/rt4-whois</a><o:p></o:p></p></div><p class=MsoNormal><br><br clear=all><o:p></o:p></p><div><p class=MsoNormal><o:p> </o:p></p></div><p class=MsoNormal style='margin-bottom:12.0pt'>-- <br><br><br> <img border=0 id="_x0000_i1025" src="http://www.etlaw.co.uk/images/stories/etlaw/etclogo250x60.gif"><o:p></o:p></p><div style='margin-left:40.0pt'><p class=MsoNormal><u><span style='color:#CC33CC'> </span></u><span style='color:#993399'><br></span><br><span style='color:#999999'>76 Temple Road, Oxford OX4 2EZ UK<br>t: +44 (0)1865 582 811 • m: +44 (0)7540 049 322<br><a href="mailto:emily@emilytaylor.eu" target="_blank">emily@emilytaylor.eu</a> <br><br><b><a href="http://www.etlaw.co.uk" target="_blank">www.etlaw.co.uk</a></b><br><br>Emily Taylor Consultancy Limited is a company registered in England and Wales No. 7630471. VAT No. 114487713.</span><o:p></o:p></p></div><p class=MsoNormal><o:p> </o:p></p></div></div>
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